Investment Advisers Act

Wasatch Announces Reopening of Core Growth, International Growth, and Small Cap Growth Funds

Retrieved on: 
Friday, March 27, 2020

Named after the nearby Wasatch Mountain Range, the firm brings unparalleled experience to U.S. and international micro-, small- and mid-cap investing with a culture that emphasizes collaboration, excellence and intellectual curiosity.

Key Points: 
  • Named after the nearby Wasatch Mountain Range, the firm brings unparalleled experience to U.S. and international micro-, small- and mid-cap investing with a culture that emphasizes collaboration, excellence and intellectual curiosity.
  • Wasatch had $20.8 billion in assets under management as of December 31, 2019.
  • Wasatch Global Investors is registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940.
  • Investing in small or micro cap funds will be more volatile and loss of principal could be greater than investing in large cap or more diversified funds.

Medley Capital Corporation Announces December 31, 2019 Financial Results

Retrieved on: 
Monday, February 10, 2020

Medley Capital Corporation is a closed-end, externally managed business development company ("BDC") that trades on the New York Stock Exchange (NYSE: MCC) and the Tel Aviv Stock Exchange (TASE: MCC).

Key Points: 
  • Medley Capital Corporation is a closed-end, externally managed business development company ("BDC") that trades on the New York Stock Exchange (NYSE: MCC) and the Tel Aviv Stock Exchange (TASE: MCC).
  • Medley Capital Corporation's investment objective is to generate current income and capital appreciation by lending to privately-held middle market companies, primarily through directly originated transactions, to help these companies expand their businesses, refinance and make acquisitions.
  • Medley Capital Corporation is externally managed by MCC Advisors LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended.
  • For additional information, please visit Medley Capital Corporation at www.medleycapitalcorp.com .

Sierra Income Corporation Announces Q1 2020 Distributions

Retrieved on: 
Thursday, January 30, 2020

Sierra is externally managed by SIC Advisors LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended.

Key Points: 
  • Sierra is externally managed by SIC Advisors LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended.
  • For additional information, please visit Sierra Income Corporation at www.sierraincomecorp.com .
  • Medleys national direct origination franchise is a premier provider of capital to the middle market in the U.S. Medley has $4.3 billion of assets under management in two business development companies, Medley Capital Corporation (NYSE: MCC) (TASE: MCC) and Sierra Income Corporation, a credit interval fund, Sierra Total Return Fund (NASDAQ:SRNTX) and several private investment vehicles.
  • This is not an offer or a solicitation of an offer to buy any securities of Sierra Income Corporation.

 United States Gold and Treasury Investment Trust Files S-1 Registration Statement With SEC

Retrieved on: 
Tuesday, January 14, 2020

Wilshire Phoenix Funds , an investment management firm dedicated to helping its clients manage assets throughout the investment lifecycle and sponsor of the United States Gold and Treasury Investment Trust (the Trust) announced today that the Trust has filed a registration statement on Form S-1 with the Securities and Exchange Commission relating to the proposed initial public offering of its common shares.

Key Points: 
  • Wilshire Phoenix Funds , an investment management firm dedicated to helping its clients manage assets throughout the investment lifecycle and sponsor of the United States Gold and Treasury Investment Trust (the Trust) announced today that the Trust has filed a registration statement on Form S-1 with the Securities and Exchange Commission relating to the proposed initial public offering of its common shares.
  • The Trust will have no assets other than physical gold bullion (Physical Gold), gold futures (Gold Futures) and U.S. Treasury Bills ("T-Bills").
  • The registration statement relating to these securities has been filed with the SEC but has not yet been declared effective.
  • Wilshire Phoenix is a New York based investment management firm dedicated to helping its clients manage assets throughout the investment lifecycle.

Spire Capital Portfolio Company, O2B Kids, Expands with the Acquisition of Home Away From Home

Retrieved on: 
Tuesday, December 3, 2019

HAFH operates five schools in Palm Beach County and is preparing to open a sixth school in Q1 2020 near Orlando.

Key Points: 
  • HAFH operates five schools in Palm Beach County and is preparing to open a sixth school in Q1 2020 near Orlando.
  • "We are thrilled to welcome the educators from Home Away From Home to the O2B Kids family along with the children and families they serve," said O2B Kids CEO Andy Sherrard.
  • While HAFH offers significant enrichment curriculum, O2B Kids will leverage its industry experience to enhance HAFH's current offerings to both parents and students.
  • Spire Capital is a New York-based investment advisor registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940.

Monroe Capital Corporation Announces Fourth Quarter Distribution of $0.35 Per Share

Retrieved on: 
Monday, December 2, 2019

CHICAGO, Dec. 02, 2019 (GLOBE NEWSWIRE) -- Monroe Capital Corporation (the Company) (NASDAQ: MRCC) announced today that its Board of Directors has declared a distribution of $0.35 per share for the fourth quarter of 2019, payable on December 31, 2019 to stockholders of record as of December 16, 2019.

Key Points: 
  • CHICAGO, Dec. 02, 2019 (GLOBE NEWSWIRE) -- Monroe Capital Corporation (the Company) (NASDAQ: MRCC) announced today that its Board of Directors has declared a distribution of $0.35 per share for the fourth quarter of 2019, payable on December 31, 2019 to stockholders of record as of December 16, 2019.
  • Monroe Capital Corporation is a publicly-traded specialty finance company that principally invests in senior, unitranche and junior secured debt and, to a lesser extent, unsecured debt and equity investments in middle-market companies.
  • The Companys investment activities are managed by its investment adviser, Monroe Capital BDC Advisors, LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended, and an affiliate of Monroe Capital LLC.
  • Monroe Capital LLC (Monroe) is a private credit asset management firm specializing in direct lending and opportunistic private credit investing.

Sierra Income Corporation Announces Q4 2019 Distributions

Retrieved on: 
Friday, November 8, 2019

Sierra is externally managed by SIC Advisors LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended.

Key Points: 
  • Sierra is externally managed by SIC Advisors LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended.
  • For additional information, please visit Sierra Income Corporation at www.sierraincomecorp.com .
  • Medleys national direct origination franchise is a premier provider of capital to the middle market in the U.S. Medley has $4.4 billion of assets under management in two business development companies, Medley Capital Corporation (NYSE: MCC) (TASE: MCC) and Sierra Income Corporation, a credit interval fund, Sierra Total Return Fund (NASDAQ:SRNTX) and several private investment vehicles.
  • This is not an offer or a solicitation of an offer to buy any securities of Sierra Income Corporation.

THL Credit Schedules Third Quarter 2019 Earnings Release and Conference Call

Retrieved on: 
Monday, October 7, 2019

BOSTON, Oct. 07, 2019 (GLOBE NEWSWIRE) -- THL Credit, Inc. (NASDAQ: TCRD) (the Company"), announced today that it will report its financial results for the third fiscal quarter ended September 30, 2019 after the market closes on Monday, November 4, 2019.

Key Points: 
  • BOSTON, Oct. 07, 2019 (GLOBE NEWSWIRE) -- THL Credit, Inc. (NASDAQ: TCRD) (the Company"), announced today that it will report its financial results for the third fiscal quarter ended September 30, 2019 after the market closes on Monday, November 4, 2019.
  • The Company will host a conference call to discuss these results and its business outlook on Tuesday, November 5, 2019, at 10:30 a.m. Eastern Time.
  • The Company will also broadcast the conference call live via the Investor Relations section of its website at www.THLCreditBDC.com .
  • The Companys investment activities are managed by THL Credit Advisors LLC, an investment adviser registered under the Investment Advisers Act of 1940.

Monroe Capital Corporation Announces Third Quarter Distribution of $0.35 Per Share

Retrieved on: 
Tuesday, September 3, 2019

Monroe Capital Corporation is a publicly-traded specialty finance company that principally invests in senior, unitranche and junior secured debt and, to a lesser extent, unsecured debt and equity investments in middle-market companies.

Key Points: 
  • Monroe Capital Corporation is a publicly-traded specialty finance company that principally invests in senior, unitranche and junior secured debt and, to a lesser extent, unsecured debt and equity investments in middle-market companies.
  • The Companys investment objective is to maximize the total return to its stockholders in the form of current income and capital appreciation.
  • The Companys investment activities are managed by its investment adviser, Monroe Capital BDC Advisors, LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended, and an affiliate of Monroe Capital LLC.
  • Monroe Capital LLC (Monroe) is a private credit asset management firm specializing in direct lending and opportunistic private credit investing.

Wolters Kluwer Launches New Edition of "Investment Adviser's Legal and Compliance Guide"

Retrieved on: 
Tuesday, August 20, 2019

"Investment Adviser's Legal and Compliance Guide," Third Edition, reflects the most current discussions around legal and compliance topics for investment advisers, including fundamental issues arising under the Investment Advisers Act of 1940.

Key Points: 
  • "Investment Adviser's Legal and Compliance Guide," Third Edition, reflects the most current discussions around legal and compliance topics for investment advisers, including fundamental issues arising under the Investment Advisers Act of 1940.
  • The Third Edition covers such topics as:
    This new resource can be accessed through Cheetah, Wolters Kluwer's intuitive legal research platform.
  • About Wolters Kluwer Legal & Regulatory U.S.
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